market, including guidelines for enhancing the development of the Thai securities industry where all sectors are able to gain benefits fairly and efficiently. The joint meeting was held at the SEC
. Clause 2 In order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services
order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
prohibits any employing securities firm or issuer from treating its employees unfairly by such means as change of position, type of work or work location. Whistleblowers shall be treated fairly and protected
companies have considerably increased whereas doubts in a number of cases were reflected whether the placements were used appropriately or fairly to the shareholders. To prevent the exploitation of private
offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the
the public as well as other securities companies; (b) members shall treat clients fairly and shall not be involved in discriminatory practice, and shall provide services by using knowledge and
making investment decisions with confidence; being treated fairly in securities trading activities, yet the scope of SEC authority not covering risks and guarantees for losses from investment, nor